All Chief Compliance Officer articles – Page 9
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Blog
Bally’s names global chief compliance officer
Casino entertainment company Bally’s Corp. announced the appointment of Don Westcott as senior vice president, global chief compliance officer.
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PSSI appoints first chief compliance officer
Food safety solution and sanitation provider PSSI announced the appointment of Diego Alvarez as its first chief compliance officer.
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Comerica names chief compliance officer
Comerica Bank announced the appointment of Kristina Janssens as senior vice president, chief compliance officer.
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Prime Therapeutics appoints chief compliance officer
Prime Therapeutics/Magellan Rx, a pharmacy benefit manager, announced the appointment of Tizgel High as chief compliance officer.
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Kyros adds general counsel and chief compliance officer
Kyros, a Minnesota-based recovery services platform provider, announced Kathleen Finnegan as its new general counsel and chief compliance officer.
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Centurion Wealth appoints chief compliance officer
Centurion Wealth, which specializes in holistic wealth management solutions tailored for entrepreneurs, executives, and independent women, announced Jill Grimes as its new chief compliance officer.
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News Brief
Lawsuit: Ex-Payqwick CCO fired, retaliated against for raising alarm
The ex-chief compliance officer at Payqwick, a California-based money transmitter that serviced the cannabis industry, is suing her former employer alleging wrongful termination and whistleblower retaliation over lax disclosures related to an acquisition.
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Balfour Beatty unit appoints chief compliance officer
Real estate investment and management company Balfour Beatty Communities, a subsidiary of British multinational infrastructure group Balfour Beatty, announced the appointment of David Berman as chief compliance officer.
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AmeriLife appoints chief risk and compliance officer
Insurance company AmeriLife Group announced the appointment of Jeffrey Halperin as chief risk and compliance officer.
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Regions Bank promotes corporate banking head to CCO
Regions Bank announced the promotion of Head of Corporate Banking Strategy and Administration Anna Brackin to chief compliance officer.
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Q&A: Paxos CCO on defying stereotype of lax controls in digital asset industry
Carolina Ceballos, the first full-time chief compliance officer at Paxos, shares with Compliance Week what the blockchain infrastructure platform does, its culture, and how it uses compliance as a competitive advantage.
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News Brief
Network 1, CCO fined by FINRA for Reg BI failures
Network 1 Financial Securities and its chief compliance officer agreed to pay approximately $740,000 combined, plus interest, as part of a settlement with the Financial Industry Regulatory Authority addressing alleged Regulation Best Interest compliance failures.
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Pax8 appoints first chief compliance officer
Information technology and cloud services provider Pax8 announced the appointment of Mary Gill as its first chief compliance officer.
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Q&A: Zeta CCO on leading innovation with compliance
Karla Booe, chief compliance officer for Zeta Services, discusses with Compliance Week how the card processor bakes compliance into its decision-making process for new technologies and product offerings.
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Charge Enterprises promotes CLO to CCO
Electric vehicle charging company Charge Enterprises announced the promotion of Chief Legal Officer James Biehl to chief compliance officer.
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Swarovski appoints chief legal and compliance officer
Jewelry retailer and manufacturer Swarovski announced the appointment of Stephan Mechnig as chief legal and compliance officer, effective Oct. 1.
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CCO at Burke & Herbert appointed CRO after merger with Summit
Jennifer Schmidt, chief compliance officer at Burke & Herbert Financial Services Corp., was appointed chief risk officer after the bank merged with Summit Financial Group.
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Unlimited appoints chief compliance officer
Financial services firm Unlimited announced the appointment of Michelle Sullivan as head of operations and chief compliance officer.
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Gelesis Holdings CCO resigns, CEO to take on duties
Biotechnology company Gelesis Holdings disclosed in a public filing that Elliot Maltz, chief financial officer, treasurer, chief compliance officer, and corporate secretary, resigned.
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Ashland promotes CCO to general counsel
Global additives and specialty ingredients company Ashland announced the promotion of Robin Lampkin to senior vice president, general counsel and secretary.